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CFTC Enforcement Division Issues Compliance Program Guidance

USA - November 11 2020 On September 10, 2020, the Commodity Futures Trading Commission’s (CFTC, or the Commission) Division of Enforcement (Division) director issued a…

Anjan Sahni, Elizabeth Mitchell, Matthew Beville, Paul M. Architzel, Petal Walker, Robert Greffenius.

Liu v. SEC: The U.S. Supreme Court Upholds the SEC’s Power To Obtain Disgorgement in Civil Actions, But With Important Limitations

USA - June 24 2020 On June 22, the Supreme Court held in Liu v. SEC that the SEC may obtain disgorgement in federal court cases, as long as the disgorgement does not…

Christopher Davies, Elizabeth Mitchell, Eric D. Wolkoff, Jaclyn Moyer, Lori A. Martin, Lorraine B. Echavarria, Matthew T. Martens, Nicole Rabner, Theresa Titolo.

CFTC Announces Whistleblower Award Totaling More Than $2 Million To Company Outsider

USA - March 5 2019 On March 4, 2019, the US Commodity Futures Trading Commission (CFTC) announced a whistleblower award totaling more than $2 million to a company…

Anjan Sahni, Aaron Friedman, Paul M. Architzel, Petal Walker, Seth Davis.

SEC Targets Inadequate Cyberbreach Disclosure in Yahoo Settlement

USA - April 27 2018 On April 24, 2018, the Securities and Exchange Commission announced a settled enforcement proceeding against Altaba Inc. (formerly known as Yahoo! Inc…

Alexander H. Charap, Benjamin A. Powell, Meredith B. Cross.

The investigations review of the Americas 2017

USA - November 21 2016 Allegations of corporate malfeasance may arise in myriad ways: whistleblowers, current or former employees, internal or external auditors…

Stephen A. Jonas.